SourcingSourcing

WINTER & ASSOCIATES, INC.

C36
CRD 310349·SEC 801-123146·ST. PAUL, MN
AUM
$179.7M
$100M-$500M
Est. Revenue
$1.8M
@ 1% on AUM
Est. EBITDA
$539K
@ 30% margin
Est. Deal Value
$4.3M
@ 8× EBITDA

Identity

Registrations & legal identity

Legal name
WINTER & ASSOCIATES, INC.
CRD
310349
SEC file #
801-123146
EIN
—
DBA names
—

Economics

AUM
$179.7M
AUM band
$100M-$500M
AUM trajectory
'22'26
$102.6M → $179.7M▲ +75%
Client mix
Individuals Other161
Individuals High Net Worth42
Pension Profit Sharing Plans5

Operations

Employees (total)
5
Advisory staff (per ADV)
4
Advisory staff (5-yr trend)
'22'26
3 advisors → 4 advisors▲ +33%
Primary office
ST. PAUL MN
Branches
—

Custodian & Brokerage

Primary custodian
Charles Schwablow confidence
Services offered
Financial planningPortfolio mgmt — individualsPension consultingSelection of other advisers
Fee basis
% of AUMHourly chargesFixed fees

Filings

Latest ADV filing
04/06/2026
ADV-W filed at
—
Website
linkedin.com/company/winter-&-associates-inc.(social)

Compliance

Disclosures (firm)
0
Trademark
—
Additional signalsExpand ▾

Ownership & succession ★

Who controls the firm + pre-computed succession flags

Top Owner Name
TIETEL, NICOLE, WINTER
Top Owner Pct
87.5
Top Owner Entity Kind
I
Owner Count
1
Control Persons
TIETEL, NICOLE, WINTER
Solo Advisor Indicator
No
Succession Risk Solo Owner
Yes
Is Parent Owned Subsidiary
No

Availability / M&A ★

Already-acquired = skip; deal comps

Adv W Filed
No

Web presence ★

Stale website = winding down

Web Signal Quality
fallback_guess:winter.com

Retirement-plan book (Form 5500) ★

401(k)/plan business — cross-sell value

Retirement Plan Book
No

SEC EDGAR

Edgar Registered
No

Local market & wealth

Rank targets by how wealthy the local market is

Soi High Wealth Score
0.3914
Soi Zip Pct 200k Plus
0.1811
Soi Zip Returns 200k Plus
2,360
Soi Zip Total AGI
1,918,110
Fdic Zip Total Deposits
17,225,934,000
Fdic Zip Branch Count
131
Fdic Zip Top Banks
Wells Fargo Bank, National Association
U.S. Bank National Association

Compliance & brand

Firm Registration Status
active

All other collected signals (19)

Everything else we've pulled for this record, not yet curated into a section.

Adv W Recently Filed
No
Bc Firm Active Bc Count
0
Bc Firm Active IA Count
4
Bc Firm IAR Count
4
Custodian Candidates
Full
Charles Schwab6
Pershing4
E*trade4
Fdic Zip Branches Raw
TCF Bank Minnesota, fsbSt Paul, MN
First Bank National AssociationSt. Paul, MN
Fdic Zip HHI
2662.7
Fdic Zip Top Bank Share Pct
37.71
Fdic Zip Year
2025
Firm Has Custody
No
Mailing Office Differs
No
Soi Year
2022
Soi Zip Distribution
Stub 1
AGI29,852
Returns2,710
Stub 2
AGI83,083
Returns2,200
Stub 3
AGI108,390
Returns1,770
Soi Zip Total Business Income
52,128
Soi Zip Total Cap Gains
142,711
Soi Zip Total Dividends
63,745
Soi Zip Total Returns
13,030
Top Owner CRD
2640324
Trust Company Affiliate
No

People (4)

4
TIETEL, NICOLE, WINTER
IAR · Direct Owner · 87.5%
2640324
TAYLOR JOHN FLOREN
IAR
7011420
SHELBY ANN BIRKELAND
IAR
7993865
EDWARD JOHN ANDERSON
IAR
6712957